What are the responsibilities and job description for the OSJ Supervisor Associate position at PrimeLending, A PlainsCapital Company?
Description
Hilltop Securities is currently looking to hire an OSJ Supervisor Associate in Dallas, Texas. The OSJ Supervisor Associate will support the supervisory functions of the VP, Wealth Management Sales Supervision and assist the Regional OSJ Supervisors.
Responsibilities
Hilltop Securities is currently looking to hire an OSJ Supervisor Associate in Dallas, Texas. The OSJ Supervisor Associate will support the supervisory functions of the VP, Wealth Management Sales Supervision and assist the Regional OSJ Supervisors.
Responsibilities
- Communicate with various department heads as a liaison on behalf of the Sales Supervisor department.
- Assist with supervising sales activity of registered representatives as needed, including approving account applications and direct business transmittals, trade review
- Support VP, Wealth Management Sales Supervision and OSJ Managers
- Maintain various department books and records requirements.
- Manage document flow and filing as well as maintain Financial Advisor records.
- Review reports and follow up when necessary.
- Communicate with Financial Advisors by e-mail and telephone when necessary.
- Monitor and communicate with Financial Advisors to insure their compliance with continuing education and compliance requirements by the required deadlines.
- Additional responsibilities as assigned by Supervisor
- Bachelor’s degree.
- 2 – 3 years of Financial Services industry experience required.
- Previous compliance and/or supervisory experience preferred.
- FINRA Series 7, 24 and 63 a plus.
- PC literacy with an emphasis on MS Office Word, Excel, and Outlook.
- Respond to moderately complex issues and problems efficiently and effectively while meeting multiple deadlines.
- Aptitude for analysis, investigation & problem solving.
- Demonstrated ability to cope with change and ability to manage multiple priorities.
- Strong oral/written communication skills and demonstrated organization skills
